Individual Firm
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RODNEY LOUIS CAUDILLO
CRD#: 2155863
IA
B
WEDBUSH SECURITIES INC.CRD#: 877 CHULA VISTA, CA
View By:
10/19/2012
Judgment / Lien
3/19/2012
Customer Dispute
Settled
4/11/1996
Customer Dispute
Settled
4/11/1996
Employment Separation After Allegations
State Registrations
B
Arizona 1/2/2009
B
Maryland 8/12/2011
B
California 1/2/2009
B
Nevada 1/2/2009
IA
California 8/24/2009
B
New Jersey 8/19/2013
B
Colorado 8/19/2013
B
Utah 3/9/2023
B
Hawaii 3/24/2015
B
Washington 4/24/2013
B
Maine 6/16/2014
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/26/2007 - 12/31/2008 | SAN DIEGO, CA | |
B | 10/14/1998 - 12/31/2008 | SAN DIEGO, CA | |
B | 06/06/1996 - 09/09/1998 | ATLANTA, GA | |
B | 02/17/1994 - 04/16/1996 | PORTLAND, OR | |
B | 07/31/1992 - 12/31/1993 | DENVER, CO | |
B | 06/25/1992 - 08/04/1992 | ||
B | 08/14/1991 - 06/09/1992 | ROCHESTER, NY |
ROCHESTER, NY
08/14/1991 - 06/09/1992
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.